Amit Pathak
Delhi
Summary
Director of Compliance with extensive expertise in regulatory frameworks and compliance management. Proven track record in leading corporate compliance initiatives, enhancing operational efficiency, and ensuring adherence to industry standards. Demonstrated leadership in risk management and policy development, resulting in improved organizational integrity and ethical practices.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Director of Compliance
Compliance Innovation
Delhi
11.2024 - Current
- Directed compliance monitoring programs, identifying critical review and assessment areas.
- Collaborated with IT teams to integrate technology solutions for enhanced compliance and data protection.
- Cultivated performance-driven business culture, optimizing achievement of organizational goals.
- Cross-trained employees to ensure priority task completion during personnel absences.
- Drafted policies and procedures aimed at preventing future non-compliances.
- Maintained and revised operational policy procedures within compliance program.
Senior Compliance Officer
Compliance Innovation
Delhi
09.2023 - 11.2024
- Oversaw Anti-Money Laundering and Know Your Customer compliance for client products and services.
- Developed and implemented a comprehensive compliance program to mitigate non-compliance risks.
- Established internal controls to ensure accuracy and adherence to jurisdiction regulations.
- Reviewed compliance policies and procedures to align with relevant laws and regulations.
- Managed onboarding processes for new partners and clients in fast-paced environments, reporting fraud and suspicious activities.
- Created training materials to enhance employee education on compliance topics.
Consultant
KPMG India
Gurugram
03.2022 - 10.2022
- Led team of 24 members in managing Service Levels for AML Compliance and Investigations, safeguarding client interests per SOPs and policies.
- Provided daily guidance to enhance team collaboration and identify training needs.
- Initiated process improvements to boost efficiency, effectiveness, and productivity across sites.
- Supported Manager-level functions by providing coverage and assistance across departments.
- Worked with cross-functional teams to achieve goals.
Assistant Manager - Compliance
Info Edge India Limited
Noida
05.2021 - 03.2022
- Spearheaded pilot project with 19-member team to implement compliance guidelines.
- Managed compliance processes to refine database for improved decision-making and organizational benefits.
- Ensured team met monthly targets with high quality through motivation and training in teamwork and proactivity.
- Delivered comprehensive reports to upper management for feedback and monthly performance reviews.
- Ensured compliance with safety regulations and company policies.
- Collaborated with management on developing strategic plans for achieving business goals.
Senior Analyst
NatWest Group (prev. Royal Bank of Scotland)
Delhi
07.2015 - 02.2021
- Executed sanctions and PEP screening, adverse media screening, and periodic review processes.
- Conducted KYC, customer due diligence (CDD), and enhanced due diligence (EDD).
- Utilized tools such as LexisNexis and World Check for thorough background verification.
- Reported suspicious activity (SAR) based on comprehensive investigations.
- Analyzed client data, documentation, and negative news to assess risk profiles.
- Compiled final reports of investigations (ROI) and attached them to customer audit records.
- Performed periodic reviews to ensure compliance with regulatory requirements.
- Maintained detailed records for future reference and audits.
Education
Master of Business Administration -
Guru Gobind Singh Indraprastha University
Delhi2015
Bachelor of Computer Applications -
Guru Gobind Singh Indraprastha University
Delhi2013
Skills
- Leadership skills
- Compliance and regulatory oversight
- Data privacy management
- Customer focus strategies
- Anti-money laundering expertise
- Trend analysis
- Risk assessment
- Internal controls evaluation
- Stakeholder engagement
- Investigative practices
- Compliance monitoring and policy development
Certification
- NISM Series XXIV: AML and CFT Provisions in Securities Markets Certification
- Certified Anti-Money Laundering Specialist (CAMS)
- Certified Global Compliance Specialist (GCS)
- AML and KYC
- Cross-border transportation of cash and money laundering
- Scrum Master
- Certified AML-KYC Compliance Officer
Languages
Hindi
First Language
English
Proficient (C2)
C2
Timeline
Director of Compliance
Compliance Innovation
11.2024 - Current
Senior Compliance Officer
Compliance Innovation
09.2023 - 11.2024
Consultant
KPMG India
03.2022 - 10.2022
Assistant Manager - Compliance
Info Edge India Limited
05.2021 - 03.2022
Senior Analyst
NatWest Group (prev. Royal Bank of Scotland)
07.2015 - 02.2021
Master of Business Administration -
Guru Gobind Singh Indraprastha University
Bachelor of Computer Applications -
Guru Gobind Singh Indraprastha University
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